Stephen Kiyoshi Takeda
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/05/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073891501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Kiyoshi Takeda (Respondent) Former General Securities Representative CRD No. 1100052 Pursuant to FINRA Rule 9216, Respondent Stephen Kiyoshi Takeda submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2022073891501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1100052 |
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